| 24-00066 | 07/24/2024 | Claimant(s): Brian Goossen
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle L. Gould
Arbitrator(s): Jacqueline R. Fox, Catherine Stewart, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
|  | Dismissed by Rule 12200 |
| 23-00028 | 07/11/2024 | Claimant(s): Lisa Idlett
Claimant Lawyers(s): John E. Jenkins
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
| | |
| 23-01126 | 03/05/2024 | Claimant(s): David Liguori
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Catherine Stewart
Hearing Site: Pittsburgh, PA
| | |
| 23-01383 | 02/20/2024 | Claimant(s): Andrew Leicht
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
| | |
| 20-01555 | 02/09/2024 | Claimant(s): The Amvona Fund
Claimant Lawyers(s): Ian J. McLoughlin
Respondent(s): Christopher Pento, Joseph Vencil, Clear Street
Respondent Lawyers(s): Gayle R. Klein
Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle
Hearing Site: Albany, NY
| | $0 |
| 23-00627 | 01/22/2024 | Claimant(s): Barbara Violette
Claimant Lawyers(s): Barbara A. Violette
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Catherine Stewart
Hearing Site: Augusta, ME
| | $0 |
| 21-00419 | 06/05/2023 | Claimant(s): Robert Simonian
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Irit Walters
Arbitrator(s): Catherine Stewart
Hearing Site: Providence, RI
| | Expungement |
| 19-00948 | 02/27/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Christopher Armstrong, Morgan Stanley, Randall Kiefner
Respondent Lawyers(s): Clinton W. Marrs, Thomas J. Momjian
Arbitrator(s): Catherine Stewart, Olugbenga Sopeju, Toni Anne Williams
Hearing Site: Jersey City, NJ
| | |
| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
| | |
| 22-00902 | 01/27/2023 | Claimant(s): Tom LeMieux
Claimant Lawyers(s): Tom LeMieux
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
| | $0 |
